Analysis Sardine Fishery Pacific sardine is a relatively new fishery still under development. DFO began issuing licences for this fishery in 2003with limited annual participants. Twenty-five ZS sardine licences were available for the 2004-2005 fishery. Fishers may not as yet have developed much experience with fishing this species. Although sounding behaviour is not officially documented, fishers report from practical experience that a catch of sardines, when trapped in a net and concentrated into a smaller pool, will panic and sound; that is, dive to the bottom. When a vessel is dealing with a large catch, this action creates a heeling moment that may exceed the righting moment of the vessel and be of sufficient magnitude to significantly incline the vessel. This heeling, when combined with other factors including free surface effect, an inherently low freeboard, and the possibility of downflooding, may ultimately result in capsizing. Fishers also report that sardines are livelier in their movement than herring when trapped. In this occurrence, because the exact load condition of the vessel at the time of capsizing cannot be verified and because the vessel was in the process of lifting a large catch on board, it is reasonable to expect that the cause of the capsizing was catch sounding. Ad hoc Application of Stability Requirements for Small Fishing Vessels Under the SFVIR, vessels of closed construction such as the ProspectPoint, which are between 15and 150in gross tonnage and do not exceed 24.4 m in length, are not required to have approved stability data except when fishing herring or capelin. At the time of this occurrence, the ProspectPoint was fishing for sardines. Given that the behavioural characteristics of sardines are similar to those of herring, the hazards associated with vessel stability during fishing activities are also similar. However, vessels engaged in sardine fishery are not afforded the same level of safety as those engaged in the herring fishery. The investigation revealed that some TCinspectors, including the one who inspected the ProspectPoint, are not aware of the behavioural aspects of these two fish and of the risks posed to vessels engaged in the sardine fishery. TC has not provided appropriate guidance for the benefit of all inspectors across Canada. For example, in the Saint John, New Brunswick, district, sardines are considered to pose risks similar to those posed by herring, and on the West Coast, they are not. In the Saint John district, vessels used in the aquaculture industry to carry fish either live, in bulk, or in liquid form are required to have approved stability data on board for the guidance of the crew. These decisions by the district were based on the risk associated with such operations. In the absence of uniform guidelines for the administration of the stability data requirement for small fishing vessels, vessels at risk are not readily identified, and the stability assessment requirement is not uniformly applied across Canada, to the detriment of fishing vessel safety. The ProspectPoint held two valid roe herring by seine licences and had been fishing herring by seine since at least 1984. The only approved stability booklet for the vessel was dated 20 March 1978. No updates had been made to account for modifications to the vessel in subsequent years. During the periodic quadrennial inspections, TC did not check the stability information to determine if it was current. In 1999, the format of SIC29 certificates was altered to include a checkbox to note whether a vessel has a valid stability booklet on board. At the time of the ProspectPoint's most recent quadrennial inspection in2002, this checkbox was left blank. Periodic Verification of Stability Data for Small Fishing Vessels Recognizing that vessels undergo modifications over time, the International Convention for the Safety of Life at Sea (SOLAS)4 and TCboth have a requirement that, at intervals not exceeding five years, under certain conditions, passenger vessels undergo lightship surveys to verify changes, if any, in lightship displacement and longitudinal centres of gravity. If a deviation falls outside allowable limits, the vessel is required to be re-inclined. However, this requirement does not apply to fishing vessels, which do not fall under the SOLAS, but which are subject to frequent modifications and design changes to suit different fisheries. In most cases, these changes would adversely affect the vessel's transverse stability. Currently, small fishing vessels (between 15and 150in gross tonnage) represent the majority of Canadian fishing vessels. In2004, these vessels exceeded 19500in number. Only 136of those operating on the West Coast are licensed to fish for herring roe and are required to have a TC-approved stability booklet on board. The booklet is intended for the guidance of the vessel's crew so that they may safely fish within the limitations of their vessel. The investigation has shown that fishing vessels that have TC-approved stability booklets continue to capsize. On the West Coast, despite the requirements of two federal departments (TC and DFO), nearly 50percent of small fishing vessels do not have the required approved stability data for guidance. Also, given that fishing vessel modification is an ongoing reality and that the stability data approval date for many of these vessels exceeds 20 years, the accuracy and validity of those data are called into question, and the benefits afforded by the requirement to have up-to-date stability data are negated. Exchange of Information Between Transport Canada and the Department of Fisheries and Oceans The 2004 DFO Integrated Fisheries Management Plan makes reference to the fact that vessels fishing for herring roe are to have a valid herring stability booklet as required under the Canada Shipping Act. However, the TSB investigation revealed that the DFO (Pacific) Licensing personnel were unclear as to the purpose of the stability booklet, and did not know what the booklet looked like, or whether vessels applying for a fishing licence were actually in compliance with the requirement. Therefore, the intent of this requirement is not being met. TC and DFO both require that appropriate stability data be carried by vessels fishing for herring or capelin, but the investigation found no beneficial exchange of information between these departments with regard to fishing vessel safety. Each department operates in isolation from the other. The need to have a linkage between the granting of a fishing licence and the issuance of a safety certificate has been acknowledged in a number of studies over the past 15years.5 Given that the occasion of licensing may be the last opportunity to verify whether a vessel is safe for the particular fishery being licensed, it is imperative that vital information that affects vessel safety be communicated/shared between departments. Despite the regulatory requirements of the Canada Shipping Act, TC inspections, and DFO licensing conditions, it would appear that requirements intended to improve the safety of fishing vessels have lost their effectiveness through weaknesses in the systems in place. Fishing vessels continue to experience stability-related mishaps at a rate greater than is seen in other marine sectors. The vessel capsized as a result of having insufficient transverse stability to withstand the dynamic heeling forces imposed upon it while fishing sardines. The sardines trapped in the net sounded, which increased the load on the head of the boom to a condition in which the heeling moment exceeded the maximum righting moment, causing the vessel to capsize.Finding as to Causes and Contributing Factors The vessel capsized as a result of having insufficient transverse stability to withstand the dynamic heeling forces imposed upon it while fishing sardines. The sardines trapped in the net sounded, which increased the load on the head of the boom to a condition in which the heeling moment exceeded the maximum righting moment, causing the vessel to capsize. The application of the Transport Canada (TC) safety provision regarding stability requirements for small fishing vessels is hampered by the absence of uniform guidelines to help inspectors in readily identifying fishing vessels at risk. Under the current regulations pursuant to the Canada Shipping Act, there is no requirement for fishing vessels to undergo stability data verification on a periodic basis. TC and the Department of Fisheries and Oceans (DFO) develop and implement some of their regulations, policies, and management plans in isolation, to the detriment of fishing vessel safety. The lack of information exchange between TC and DFO can undermine TC's mandate to ensure that vessels proceeding to sea are in a seaworthy condition and DFO's mandate to ensure that vessels fish safely. A stability booklet is not mandatory for vessels engaged in the sardine fishery in British Columbia.Findings as to Risk The application of the Transport Canada (TC) safety provision regarding stability requirements for small fishing vessels is hampered by the absence of uniform guidelines to help inspectors in readily identifying fishing vessels at risk. Under the current regulations pursuant to the Canada Shipping Act, there is no requirement for fishing vessels to undergo stability data verification on a periodic basis. TC and the Department of Fisheries and Oceans (DFO) develop and implement some of their regulations, policies, and management plans in isolation, to the detriment of fishing vessel safety. The lack of information exchange between TC and DFO can undermine TC's mandate to ensure that vessels proceeding to sea are in a seaworthy condition and DFO's mandate to ensure that vessels fish safely. A stability booklet is not mandatory for vessels engaged in the sardine fishery in British Columbia. Safety Action Action Taken Subsequent to the accident, under the auspices of the Inter-Agency Marine Action Group, the TSB met with Transport Canada (TC) Pacific Region, and the Department of Fisheries and Oceans (DFO) Licensing, Pacific Region, in February2005, to discuss concerns regarding the safety issues that came to light during this investigation. DFO and TC agreed to exchange information and data to ensure that fishing vessels are in possession of appropriate and relevant stability data before a fishing licence is issued. Specific instructions were issued to all inspectors in TC's Pacific Region, outlining a process that must be followed to conduct inspections of vessels engaged in fishing herring or capelin. To provide a cohesive approach to fishing vessel safety, DFO has provided TCwith a list of vessels that hold licences to fish herring and a list of the species prefixes used on licensing decals (displayed on fishing vessels) that identify the type of fishery a vessel may engage in. TC has forwarded to DFO a copy of an approved stability booklet so that, before granting a herring or capelin licence, fishery officers can ensure that vessel owners have such a booklet. TC's Pacific Region designated two inspectors to visit ship repair facilities on an ad hoc basis to specifically look out for vessels that are undergoing modifications that are apparently unsafe. This information will be passed to DFO Licensing, thus creating a linkage between DFO's granting of a fishing licence and TC's issuing of a safety certificate. It will also help DFO officials to make informed decisions about licences for a requested fishery. As part of the licence-issuing consideration, DFOLicensing personnel will pay close attention to information received from the fishing vessel owners/operators and will consult with TC where modifications have been made to a vessel to meet DFO's length restrictions. During the recent food and bait fishery, before issuing licences, DFO forwarded to TC a list of vessels requesting licences, to verify from TC's database whether such vessels possessed the required stability booklet. TC and DFO jointly recognized that DFO's length restriction policies and TC's classification of vessels under 15in gross tonnage as uninspected enable fishing vessel owners to carry out modifications that may be unsafe. Additional Information A meeting was held on 15 November 2005 between the Assistant Deputy Minister, TC Safety and Security, and the Assistant Deputy Minister, DFO Fisheries and Aquaculture Management. The objective of this meeting was to discuss increased cooperation between both departments with a view to promoting the safety at sea of fishers. As a result, a Memorandum of Understanding (MOU) between DFO and TC was developed. The MOU provides a framework for cooperation, including a commitment to hold regular head office and regional meetings, and national and regional Fishing Vessel Safety Advisory Committees.6 Further Action Taken by Transport Canada In advance of the new Fishing Vessel Safety Regulations, TC established an interim policy for determining, based on a list of risk factors, whether a small fishing vessel requires a stability booklet. The booklet sets out, in standard form, the results of various flotation and stability calculations and is used to instruct the master and the crew about the safe limits of the vessel under a variety of loading and operating conditions. This interim measure will provide important additional information for the master. It takes effect immediately. TC issued Ship Safety Bulletin 04/2006, titled Safety of Small Fishing Vessels: Information to Owners/Masters about Stability Booklets. The bulletin outlines the process that vessel owners and operators must follow to determine if their vessel requires a stability booklet, and the method for obtaining one. The bulletin applies to all owners and operators of fishing vessels, new and existing, that are between 15and 150in gross tonnage and less than 24.4m in length. The new proposed Fishing Vessel Safety Regulations will require that, at periodic intervals, not exceeding five years, or upon completion of modifications or alterations to a vessel, a lightship survey be conducted by the vessel's authorized representative and be witnessed by a marine inspector. The results of that survey will determine whether the vessel requires a new stability assessment.